Joint Forum releases paper on “risk concentrations”
Paper highlights critical issues in firms’ ability to identify risk concentrations
- By: James Langton
- April 25, 2008 December 14, 2017
- 10:45
Latest news in From the Regulators
IDA extends comment period for CRM proposal
The Investment Dealers Association of Canada is extending the comment period for its so-called Client Relationship Model (CRM) to the end of May.The CRM, which…
- By: James Langton
- April 25, 2008 December 14, 2017
- 09:40
SEC charges Wall Street short-seller with spreading false rumors
Rumor sparked heavy trading in Alliance Data Systems
- By: James Langton
- April 25, 2008 December 14, 2017
- 07:30
FINRA proposes change to rule regarding the reporting of sales practice violations
Allegations against “unnamed” brokers going unreported
- By: James Langton
- April 24, 2008 December 14, 2017
- 15:30
FINRA issues investor warning on catastrophe bonds
Complex products can lose their value if a triggering event occurs
- By: James Langton
- April 24, 2008 December 14, 2017
- 14:55
UK firms warned to do more to protect clients’ personal data
The UK’s Financial Services Authority is warning firms that they must do more to help prevent their customers falling victim to identity fraud and other…
- By: James Langton
- April 24, 2008 December 14, 2017
- 09:50
ASC issues interim cease trade order for Alberta businessman
Locate, Tubtron distributed securities without fully complying with Alberta securities laws
- By: IE Staff
- April 22, 2008 December 14, 2017
- 12:45
OSFI clarifies role in ABCP market
Regulator does not oversee firms that created non-bank ABCP: Dickson
- By: James Langton
- April 22, 2008 December 14, 2017
- 09:20
Expert panel on securities regulation launches public consultations
Deadline for submissions is July 15
- By: IE Staff
- April 21, 2008 December 14, 2017
- 11:25
NBSC approves settlement in Wealth Pools investment scheme
Three residents fined and banned from trading
- By: Regan Ray
- April 18, 2008 December 14, 2017
- 13:47
CSA amendments ease proxy solicitations by dissident shareholders
The Canadian Securities Administrators has made a series of rule amendments that make it easier for dissident shareholders to solicit proxies.Amendments have been made to…
- By: IE Staff
- April 18, 2008 December 14, 2017
- 13:30
CSA enhances internal control reporting requirements
New rule expected to take effect on Dec. 15
- By: IE Staff
- April 18, 2008 December 14, 2017
- 10:35
State securities regulators coordinate ongoing auction-rate securities investigations
The North American Securities Administrators Association said that several of its members have been conducting investigations involving auction-rate securities and are coordinating their efforts to…
- By: James Langton
- April 18, 2008 December 14, 2017
- 09:20
ASC issues market bans against Calgary resident
The Alberta Securities Commission (ASC) has prohibited Calgary resident Brian Paul Kuhn from relying on any exemption contained in Alberta Securities laws until Sept. 30,…
- By: IE Staff
- April 17, 2008 December 14, 2017
- 14:45
OSC chairman pushes for common securities regulator
Commission urges examination of new investigative powers for police
- By: Regan Ray
- April 16, 2008 April 16, 2008
- 14:15
IDA reviewing complaints related to ABCP sales
No determination yet on whether disciplinary action is warranted
- By: IE Staff
- April 15, 2008 April 15, 2008
- 16:50
SEC launches service to alert investors about phony investment offers
The U.S. Securities and Exchange Commission announced the launch of its latest offensive targeting online boiler rooms, cold calls, and other potentially fraudulent financial solicitations.The…
- By: James Langton
- April 15, 2008 April 15, 2008
- 16:40
CSA reveals winners of financial literacy challenge
42% jump in number of youth registered to win scholarships
- By: IE Staff
- April 15, 2008 April 15, 2008
- 10:50
MFDA provides guidance on suitability obligations
Further rules proposals on the way, regulator says
- By: James Langton
- April 15, 2008 April 15, 2008
- 09:40
Senior Supervisors Group releases report on disclosure practices
Report provides examples of current leading practices in reporting exposures to ABCP
- By: James Langton
- April 11, 2008 April 11, 2008
- 10:10
AMF approves TSX-MX merger
Firms still awaiting a nod from the OSC
- By: Regan Ray
- April 10, 2008 April 10, 2008
- 16:50
Bernanke backs planned U.S. regulatory reforms
Recommendations could ease credit crisis
- By: James Langton
- April 10, 2008 April 10, 2008
- 15:30
Union Securities liable in case involving cease trade order, court rules
An Alberta court has found investment dealer Union Securities Ltd. liable in a case where a client invested in a company that was subject to…
- By: James Langton
- April 10, 2008 April 10, 2008
- 15:20
Quebec tables derivatives legislation
Proposed framework is designed to be closely harmonized with U.S. legislation
- By: James Langton
- April 9, 2008 April 9, 2008
- 15:30
FINRA issues guidance on preventing “rogue trading”
In the wake of recent episodes of so-called “rogue trading”, the Financial Industry Regulatory Authority issued guidance to firms outlining best practices for detecting and…
- By: James Langton
- April 9, 2008 April 9, 2008
- 15:25